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SILA Securities Industry Subgroup (SSIS) Meeting
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SILA Securities Industry Subgroup 4th Quarter Meeting Agenda

11/14/2017
When: Tuesday, November 14, 2017
1:00 PM
Where: United States
Contact: 303-248-0285 - Code 3405506#

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SILA Securities Industry Subgroup (SSIS)

2017 - 4th Quarter Meeting Agenda 

Date:                    Tuesday, November 14, 2017

Time:                    1:00 pm eastern time

Conference #:       303-248-0285 - Code 3405506#                             

 Meeting Agenda

 

  1. Welcome – Sherri Coleman and Deirdre Patten, Co-Chairs

  2. Registration System Transformation (RST) – (Jeff Weinstein)

  3. FINRA Exam Restructure Overview (Joe McDonald)

SIE

Top Offs

Permissive Registrations

FSAWP

Rulebook Consolidation

MSRB – Series 52

     4.  Recent Regulatory Updates (Margie Webber)

  • SRO/Jurisdiction Fee Increases
  • DOL updates

     5.  Prometric to become only FINRA exam vendor (Jeff Weinstein)

     6.  FINRA360 (Jeff Weinstein)

     7.  Open Discussion Questions